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Detailed Report
PETER CHARLES HOLLIDAY
CRD#: 4594849
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Investment Adviser
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Previous Broker
EDELMAN FINANCIAL ENGINESCRD#: 104510 600 ANTON BLVD
SUITE 1750
COSTA MESA, CA 92626
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2003 - 2004 (1 year)2 FIRMS2004 - 2006 (1 year)2 FIRMS2006 - 2014 (7 years)IAEDELMAN FINANCIAL ENGINES (CRD# 104510)2018 - Present (6 years)BEF LEGACY SECURITIES, LLC (CRD# 269923)2016 - 2018 (2 years)BSANDERS MORRIS HARRIS LLC (CRD# 20580)2014 - 2016 (2 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2006 - 2006 (<1 year)IAEDELMAN FINANCIAL SERVICES, LLC (CRD# 113299)2014 - 2018 (4 years)
Disclosure(s)
View By:
2/23/2009
Customer Dispute
Closed-No Action
License(s)

State Registrations

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California 11/1/2018
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Texas 11/1/2018
Current Registration(s)
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EDELMAN FINANCIAL ENGINES (CRD#:104510)
600 ANTON BLVD SUITE 1750, COSTA MESA, CA 92626
Registered with this firm since 11/1/2018
Previous Registration(s)
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 01/16/2014 - 11/01/2018 EDELMAN FINANCIAL SERVICES, LLC (CRD#:113299) COSTA MESA, CA
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 04/22/2016 - 10/31/2018 EF LEGACY SECURITIES, LLC (CRD#:269923) COSTA MESA, CA
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 01/16/2014 - 04/22/2016 SANDERS MORRIS HARRIS LLC (CRD#:20580) COSTA MESA, CA
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 09/11/2006 - 01/28/2014 CHARLES SCHWAB & CO., INC. (CRD#:5393) MISSION VIEJO, CA
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 09/11/2006 - 01/28/2014 CHARLES SCHWAB & CO., INC. (CRD#:5393) MISSION VIEJO, CA
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 04/21/2006 - 09/08/2006 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) PALM DESERT, CA
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 07/23/2004 - 02/24/2006 LINSCO/PRIVATE LEDGER CORP. (CRD#:6413) LA QUINTA, CA
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 07/23/2004 - 02/24/2006 LINSCO/PRIVATE LEDGER CORP. (CRD#:6413) LA QUINTA, CA
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 04/02/2003 - 07/27/2004 WADDELL & REED, INC. (CRD#:866) INDIAN WELLS, CA
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 02/28/2003 - 07/27/2004 WADDELL & REED, INC. (CRD#:866) OVERLAND PARK, KS
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.